Head of Compliance

2 weeks ago

Glasgow, United Kingdom Aberdein Considine Full time

**Position: Full Time / Permanent**

**ROLE OF DEPARTMENT**

To develop and maintain governance, risk and compliance solutions for Wealth Management

**JOB PURPOSE**

Management and oversight of the Compliance Team. To hold the SMF 16 role, and if already has experience, then the SMF17 as well.

**KEY RESPONSIBILITIES**
- Ensuring the business complies with the necessary Financial Conduct Authority requirements
- Developing and delivering a compliance risk management strategy for the Wealth Board
- Lead on the compliance activities of the firm; consumer duty, regulatory data reporting, FCA liaison, policies, file reviews, etc
- Delivering key performance metrics and managing targets within the team to ensure governance, risk and compliance targets are met.
- Leading the firm’s production of management information
- Lead on the improvement of all client service level agreements in place in line with Consumer Duty.
- Ensuring all firm’s FCA regulated policies and procedures are adhered
- Liaising regularly and where appropriate with all key stakeholders to facilitate review meetings, compliance audits, training and competency.
- Responsible for the result of all compliance audits, implementing any required changes, following up all actions and ensuring any issues raised are rectified through changes to process or system amendments.
- Will be a member of both the Wealth Board and Management Committee.
- Lead for the complaints policy from clients of the firm and customers of our financial services clients, including dealing with the Financial Ombudsman Service.
- Considering on a regular basis improvements to processes to streamline services and co-ordinating the implementation of same.

**Requirements**:
**QUALIFICATIONS**

**Desirable**
- A professional qualification in the field of financial services, governance, risk and/or compliance

**SKILLS AND EXPERIENCE**

**Essential**
- Experience of the FCA compliance regime
- Experience within the independent financial advice space
- Experience within influencing key stakeholders
- Previous experience of preparing and executing strategic objectives

**Desirable**
- Held the SMF 16 role previously, ideally the SMF17 as well
- Previous experience of working with corporate or financial services clients

**KNOWLEDGE**

**Essential**
- Knowledge of the FCA regulatory regime
- Understanding of the role of service providers to the financial services sector
- Complete familiarity of all Microsoft office packages and previous experience of working with a client management system.

**Desirable**
- Ability to analyse performance related data and extract and review key findings from sam

**APTITUDES**

**Essential**
- Organised and professional
- Excellent oral and written communication skills
- Problem solving skills
- Experience of data analysis

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